According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joan Marron (Marron), currently associated with Morgan Stanley & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marron recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Rodriguez (Rodriguez), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Borgner (Borgner), previously associated with Worden Capital Management LLC, has at least one disclosable event. These events include one customer complaint, alleging that Borgner recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Westenbarger (Westenbarger), previously associated with Securities America, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Westenbarger recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Capuzzi (Capuzzi), currently associated with Apex Clearing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Capuzzi recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Rockwell (Rockwell), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rockwell recommended unsuitable investments in different investment products including debt…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Jones (Jones), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jones recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Beam (Beam), previously associated with Lincoln Financial Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Beam recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bessey (Bessey), previously associated with Wintrust Investments LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bessey recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Dowell (Dowell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowell recommended unsuitable investments in different investment products including debt securities among other allegations…